DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

M•••••• T••••• M•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedCincinnati, Ohdual registrantIAPD 3007281

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• T••••• M•••••

At current firm

1 y

since Jan 30, 2025

In the industry

28 y

since Mar 13, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Jan 30, 2025 · Cincinnati, Oh
C•••••• S••••• • C••• I••• national BD
Jan 14, 2021 to Jun 30, 2023 · Fort Mitchell, Ky
A••••• A•• P••••••• S••••••• BD affiliated
Sep 17, 2012 to Nov 13, 2020 · Cincinnati, Oh
J••• D• D••••• • A••••••••• L•• former
Nov 25, 2008 to Aug 24, 2012 · Cincinnati, Oh
S•••••••• A••••••• L•• national BD
Jan 14, 2003 to Aug 11, 2008 · Woodmere Village, Oh

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 30, 2023, registered Jan 30, 2025 (580 days) · Affiliated broker-dealer or bank to another
A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••
left Nov 13, 2020, registered Jan 14, 2021 (62 days) · Affiliated broker-dealer or bank to another
J••• D• D••••• • A••••••••• L•• to A••••• A•• P••••••• S•••••••
left Aug 24, 2012, registered Sep 17, 2012 (24 days) · Other
S•••••••• A••••••• L•• to J••• D• D••••• • A••••••••• L••
left Aug 11, 2008, registered Nov 25, 2008 (106 days) · Other

Signals

M•••••• T••••• M••••• left C•••••• S••••• • C••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-01-30)
Jun 30, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address